Securities and Exchange Commission: SEC Personnel Survey Results (GAO-17-95SP, December 2016), an E-supplement to GAO-17-65

Survey results and copies of questionnaires for the three GAO web-based surveys of Securities and Exchange Commission (SEC) employees are provided below. To minimize the risk of identifying individual respondents, all responses to open-ended questions and to response categories with fewer than six responses are not reported. Respondents' division, location, supervisory status, and tenure were self reported in the survey.

(a) Mission-critical office and divisions survey results

We define the mission-critical office and divisions as those in SEC primarily responsible for implementing the agency’s mission: the Office of Compliance Inspections and Examinations (OCIE) and the Divisions of Corporation Finance, Enforcement, Investment Management, Economic and Risk Analysis, and Trading and Markets. The survey of the mission-critical office and divisions included nonsupervisors and supervisors in five occupational categories (accountants, attorneys, examiners, economists, and financial analysts). Our survey population for the mission-critical office and divisions consisted of employees who were employed at SEC as of September 30, 2015, according to SEC data. We administered the survey to mission-critical employees, including both nonsupervisors and supervisors, between October 2015 and May 2016. A total of 1,819 of the 2,627 nonsupervisors and supervisors in the mission-critical divisions and office responded to our survey for a response rate of 69 percent.

Questionnaire:

Results:

(b) All other divisions and offices survey results

The survey of all other offices and divisions included nonsupervisors and supervisors from the rest of the agency (i.e., non-mission-critical offices and divisions), but also included staff from the mission-critical office and divisions who were not in one of the five occupational categories listed above. We administered the survey to employees, including supervisors and nonsupervisors, in all other offices and divisions between May 2016 and September 2016. Our survey population for the survey consisted of employees who were employed at SEC as of February 29, 2016, according to SEC data. A total of 969 of the 1,609 nonsupervisors and supervisors in all other offices and divisions responded for a response rate of 60 percent.

Questionnaire:

Results:

(c) All senior officers survey results

We administered the survey to SEC senior officers--specifically, those at the SO-1, SO-2, and SO-3 pay grades--between April 2016 and July 2016. Our survey population for the survey consisted of employees who were employed at SEC as of February 29, 2016, according to SEC data. A total of 104 of the 148 senior officers responded to our survey for a response rate of 70 percent.

Questionnaire:

Results:

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